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UBS FINANCIAL SERVICES INC.
CRD 8174 · SEC 801-7163
1200 HARBOR BOULEVARD, WEEHAWKEN, NJ, 07086, United States
Phone
201-352-3000
Fax
—
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$915.79B
Discretionary AUM
$402.98B
Team
12524 total employees; 9149 advisory reps; 18245 broker-dealer reps
Clients
More than 500
Fees
Percentage of AUM; Hourly charges; Fixed fees; Commissions; SEE SCHEDULE D - MISCELLANEOUS
Org form
Corporation
Filing date
2026-03-31
Disciplinary history
Yes
Services
Financial planningPortfolio management (individuals)Portfolio management (institutions)Pension consultingSelection of other advisersPublication of periodicalsSecurity ratingsEducational seminars
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 244284 | $47.16B |
| High net worth individuals | 853775 | $714.55B |
| Banking/thrift institutions | 8 | $59.3M |
| Pooled investment vehicles | 24 | $71.3M |
| Pension/profit sharing plans | 9843 | $26.43B |
| Charitable organizations | 8053 | $21.44B |
| State/municipal entities | 357 | $4.26B |
| Insurance companies | 436 | $1.42B |
| Sovereign wealth funds | 34 | $399.2M |
| Corporations/business entities | 27490 | $94.46B |
States served
VT, AL, AK, AR, CA, CO, DE, DC, GA, ID, IL, IN, IA, KS, KY, LA, ME, MD, MI, MN, MS, MT, NE, NV, NJ, NM, NY, NC, ND, OH, OK, PA, PR, RI, SC, TN, UT, VA, WV, WI, WY, VI, MO, WA, TX, NH, HI, CT, FL, SD
All web addresses on file
- https://www.instragram.com/ubstrending/
- https://www.linkedin.com/in/jason-chandler-aa26186/
- https://twitter.com/UBS/
- https://www.linkedin.com/in/bill-carroll-a23825162
- HTTPS://WWW.UBS.COM/global/en/legal/social-legal.HTML
- https://www.linkedin.com/in/solita-marcelli-ubs/
- https://www.linkedin.com/showcase/ubs-gwm/
- https://www.youtube.com/@ubsathletesandentertainers
- https://www.ubs.com/us/en/wealth-management.html
- HTTPS://WWW.LINKEDIN.COM/IN/john-s-mathews-36557b1b/
- https://www.linkedin.com/in/jennifer-povlitz-vision-values/
- https://www.linkedin.com/in/michael-camacho-5531222a3/
- https://www.linkedin.com/in/uhb-ubs/ Ulrike Hoffmann-Burchardi
Official SEC filing: View on IAPD